COMPETENCY MANAGEMENT IN THE US FEDERAL GOVERNMENT

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1 COMPETENCY MANAGEMENT IN THE US FEDERAL GOVERNMENT Heather Getha-Taylor, Department of Political Science, University of South Carolina With input from: Lorraine Eyde, Brian O Leary, Heather Prather, Patrick Sharpe, and Henry Thibodeaux, US Office of Personnel (1) INTRODUCTION 1.1 Origin of Competency and Competency Models In 1990, the US Office of Personnel began work on the first government-wide competency model. Two years later, in 1992, the agency presented the result of that effort: the Leadership Effectiveness Framework (LEF). As noted by Rodriguez et al. (2002), as the leading agency in this effort, the US Office of Personnel married traditional job analysis with competency modeling with the goal of creating a model that would effectively cover a wide range of occupations. OPM envisioned a uniform, competency-based language that would enable federal agencies to describe jobs in the same way, eliminating inconsistencies across agencies and HR functions (e.g., staffing, performance appraisal, training, (Rodriguez et al., 2002, p. 311). This approach reflects the contemporary competency-based efforts to align individual behavior and organizational outcomes that extends beyond job-specific criteria (see Sanchez and Levine, 2009). It is important to note that competency modeling did not seek to eliminate job analysis, but rather make use of the detail provided through such efforts. According to Eyde et al. (1999) the US Office of Personnel s Personnel Resources and Development Center (PRDC) reviewed both public and private sector management and leadership literature and conducted a large-scale Leadership Effectiveness Survey of over 10,000 Federal executives, managers, and supervisors to identify competencies necessary for effective job performance. The investigation resulted in a list of 22 leadership competencies, including: written communication, oral communication, problem solving, interpersonal skills, managing diverse workforce, vision, creative thinking, flexibility, decisiveness, leadership, conflict management, self-direction, influencing/negotiating, planning and evaluation, financial management, human resources management, client orientation, external awareness, team building, technology management, internal controls/integrity, technical competence. Each competency was assigned to a level (basic supervisory, managerial, or executive) based on a composite rating of importance and need at entry. According to Eyde et al. (1999), all competencies were important to all levels of leadership, but at varying degrees, (p. 3). Finally, the 22 competencies were grouped into five broad clusters, including: influencing/negotiating, external awareness, interpersonal skills, oral communication, and written communication (Eyde et al., 1999, p. 56). K.U.Leuven, Public Institute,

2 Recognizing the rapidly changing context of public sector work, including downsizing and organizational redesign, the PRDC updated the model in 1996 and 1997 (utilizing a behavioral indicators study, literature review, examination of private sector competency models, and focus group meetings with experts) to produce the 1998 Leadership Competency Model. The updating efforts, according to Eyde et al. (1999), confirmed the 22 original 1992 competencies and identified five new competencies (entrepreneurship, partnering, resilience, political savvy, and service motivation). As a result, the 1998 model included 27 competencies, grouped (using factor analysis) under five meta-competencies: Leading Change, Leading People, Results Driven, Business Acumen, and Building Coalitions/Communication. The meta-competencies also serve as the foundation for the Executive Core Qualifications (ECQs) which reflect the qualifications needed to succeed in the Senior Executive Service (Eyde et al., 1999, p. v). Leading Change Continual Learning Creativity & Innovation External Awareness Table Leadership Competency Model Leading People Conflict Leveraging Diversity Results Driven Accountability Customer Service Integrity/Honesty Decisiveness Business Acumen Financial Human Resources Technology Building Coalitions/ Communication Influencing/ Negotiating Interpersonal Skills Oral Communication Flexibility Team Building Entrepreneurship Partnering Resilience Problem Solving Political Savvy Service Motivation Strategic Thinking Technical Credibility Written Communication Vision In addition to the identification of leadership competencies, the US Office of Personnel produced a list of 37 general competencies for the federal workforce, produced using the Multipurpose Occupational Systems Analysis Inventory Closed-ended (MOSAIC) approach. This effort allowed OPM to identify crosscutting competencies that are related to occupations within an occupational group (see Rodriguez et al., 2002). The general competencies identified included: Reading, Writing, Arithmetic, Mathematical Reasoning, Oral Communication, Creative Thinking, Information, Decision Making, Reasoning, Problem Solving, Mental Visualization, Learning, Self Esteem, Teamwork, K.U.Leuven, Public Institute,

3 Integrity/Honesty, Self-, Interpersonal Skills, Planning/Evaluating, Attention to Detail, Financial, Managing Human Resources, Leadership, Teaching Others, Customer Service, Organizational Awareness, External Awareness, Vision, Influencing/Negotiating, Conflict, Stress Tolerance, Flexibility, Technology Application, Technical Competence, Memory, Perceptual Speed, Agility, and Stamina. Over time, the focus on leadership competency identification and management retained prominence in the US federal government. According to the 1999 report by Eyde et al., in the context of a rapidly changing public service, leadership competencies, attributes, and behaviors are more important than managerial competencies, (p. v). In 2006, the leadership competency model (including the Executive Core Qualifications) was again revised to reflect changing contexts in a joint effort by the US Office of Personnel and the Chief Human Capital Officer Council (CHCOC). As a result of that effort, six competencies were separated as fundamental competencies that together serve as a foundation for the other meta-competency clusters. The fundamental competencies include: interpersonal skills, oral and written communication, continual learning, integrity/honesty, and public service motivation. The current Executive Core Qualifications model (as it exists at the time of this writing) is presented below. Table 2 Executive Core Qualifications (ECQs) Leading Change Leading People Results Driven Business Acumen Building Coalitions Fundamental Competencies Creativity & Innovation External Awareness Conflict Managemen t Leveraging Diversity Accountabilit y Customer Service Financial Human Resources Partnering Political Savvy Interpersonal Skills Oral Communicatio n Flexibility Developing Others Decisiveness Technology Influencing/ Negotiating Integrity/ Honesty Resilience Team Building Entrepreneurship Written Communicatio n Strategic Thinking Problem Solving Continual Learning Vision Technical Credibility Public Service Motivation 1.2 Reasons for Implementing Competency Competency management was viewed as a tool to provide a common language for addressing desired performance indicators at various managerial levels and also speaks to the need for strategic alignment between the individual and the organization. Competency models have also been promoted as means for aiding succession planning by helping to identify individual areas of strength and also areas for improvement, particularly with an advanced career plan in K.U.Leuven, Public Institute,

4 mind. The reliance on competencies reflects a move away from rank-in-position approaches to hiring, which focused on the technical knowledge necessary for performance on one job. Rank-in-person approaches, including competency management, reflect rapidly changing environments that require skills that extend beyond the boundaries of any one job and indicate an individual s ability to adapt and learn (see Rodriguez et al., 2002). (2) HOW THE US GOVERNMENT MANAGES ITS COMPETENCIES 2.1 Definitions As defined by the 1998 Leadership Competency Model, competencies are broad knowledges, skills, abilities, and other personal characteristics that characterize high levels of proficiency, (p. 1). Leadership competencies, specifically, describe the attributes of high performing leaders needed to produce results, (Eyde et al., 1999, p. v). As discussed previously, the Executive Core Qualifications (ECQ) identify the leadership competencies expected of the Senior Executive Service (SES) members. The competency model includes five clusters of competencies and one set of foundational competencies. These competencies are used for SES qualification assessments (US OPM, 2006). For broader competency management, the Federal Competency Assessment Tool (F-CAT) is available online and allows for assessments based on observable behaviors, performance, feedback, and demonstrated results, (opm.gov). The F-CAT tool helps supervisors establish performance plans that differentiate performance based on measurable results in order to link competencies to performance. Connected to this effort, the US Office of Personnel provides a federal Competency Assessment Handbook via its agency website. 2.2 HR Processes and Competency Competencies serve as a bridge to a host of human resource management practices (Eyde et al., 1999). Competency management, generally, is expected to support a number of key human resource management processes, including recruitment and selection, training and development, performance evaluation, workforce planning, and career guidance. Remuneration, however, is not considered as a purpose of competency management. The first federal competency model, the 1992 Leadership Effectiveness Framework, was designed to address several key human resource management strategies, including: succession planning, job redesign, selection, performance evaluation, career pathing, training and development (Ibid). Following the LEF, the revised 1998 Leadership Competency Model was also aimed for use related to key human resource management functions, such as: selection, performance evaluation, training/development, and succession planning (Ibid). The Executive Core Qualifications, specifically, serve as a guide for Federal Executive Institute and Development Centers curriculum. The US Office of Personnel designs all its leadership development programs around the ECQs. For the individual Federal manager or executive, the ECQs represent the guidepost along the pathway to career and organizational success. One of the most successful training programs for Federal managers is the Core Leadership Curriculum (figure 1). In this multi-phased approach, participants are engaged in a career-long process of leadership development, from the presupervisory level through preparation for the Senior Executive Service. K.U.Leuven, Public Institute,

5 Figure 1 Core Leadership Curriculum LPS: Leadership Potential Seminar for emerging leaders SLS: Supervisory Leadership Seminar for new supervisors SNM: Seminar for New Managers for new managers MDS: Development Seminar for mid-level and experienced managers EDS: Exectutive Development Seminar for senior leaders and SES candidates LDS: Leadership for a Democratic Society for senior leaders and SES candidates Source: US Office of Personnel, 2009b While the US Office of Personnel serves as a lead agency in competency identification and management, federal agencies utilize a decentralized approach in determining the best use of competencies in their human resource management processes. This is illustrated by the provision of the Personnel Assessment and Selection Resource Center online ( Included via this website are leadership competency proficiency levels which are matched to the Executive Core Qualifications (ECQs) and are intended to assist with assessment efforts. 2.3 Difficulties and Key Success Factors in Competency Despite the promise of competency management in linking key human resource management processes, a number of difficulties are apparent. First, insufficient resources (including financial resources, adequate time for studies, and necessary expertise) can stall competency management efforts. Second, decreased interest in competency models (and increased interest in results-oriented measures) necessarily present challenges to ongoing efforts to validate and update competency models. In addition, the proper use of competency models presents a challenge. Educating agencies and agency leaders on the proper role of competencies is key to avoiding misapplied models and associated frustration. Finally, illustrating job-relatedness of competency models is key to providing legal justification for any HR decisions based on such models. K.U.Leuven, Public Institute,

6 An overarching critical success factor for effective competency modeling and management is resources, including sufficient training, access, and time. Second, for competency models to attain their intended results, participation is key. Both agency leaders and subject experts must be invested in the process and must use the information presented. The successful use of competency management centers on the ability to adapt competency models for the specific needs of agencies. This is dependent on the ability to tie competencies to behavioral indicators. Finally, competencies should be updated periodically to adjust for environmental and workforce changes. (3) INNOVATIVE PRACTICES While technology must be used thoughtfully when applied to human resource management processes, computerized and web-based competency management offers much potential for improving the ways in which competencies are identified and managed. The potential to organize information on the individual and organizational level offers substantial gains for identifying gaps and opportunities for development. In addition, evolving measurement techniques and advanced psychological research can help improve the competency management process. An emerging area of study included personality-focused studies that include biodata analyses. Finally, while competency management was embraced for its ability to speak to a range of occupations, contemporary innovations center on occupation-specific competency studies, particularly for mission critical occupations. The intention is to move away from broad clusters of occupations and competencies that will offer occupation-specific insights and applications. (4) ANALYSIS OF THE FUTURE 4.1 Competency and Governance Challenges Updating competency models to reflect changing governance challenges is a priority, but one that is underserved. One such challenge is the need for public managers to work collaboratively across boundaries, which may not be adequately addressed in current competency model definitions (see Getha-Taylor, 2008). In addition, national reform initiatives such as the 1993 Government Performance and Results Act and the 2001 President s Agenda speak to the government-wide focus on results-oriented performance outcomes. Time-intensive competency management efforts, which ultimately speak to desired organizational results, may be traded for quicker efforts aimed at improving specific HR processes. If competency management were prioritized across federal agencies, the ability to conduct studies at the federal level are constrained by existing capacity within the US Department of Personnel. Organizational units once devoted to competency studies now operate client service operations aimed at responding to federal agency requests. This arrangement reflects a largely decentralized approach to competency management, with the US Office of Personnel acting as a consulting body. Finally, due to the variation in government agencies, creating competency models that are applicable across settings remains a challenge. K.U.Leuven, Public Institute,

7 4.2 Competency and Workforce Planning In the US, workforce planning is part of the strategic alignment system which focuses on a human capital strategy aligned with mission, goals and organizational objectives of federal departments and agencies. It is implemented by the senior management, and in particular the chief human capital officer, through analysis, planning, investment, measurement and management of human capital programmes. The agency approaches workforce planning strategically and in an explicit, documented manner. The workforce plan links directly to the agency s strategic and annual performance plans and is used to make decisions about structuring and deploying the workforce. Mission-critical occupations and competencies are identified and documented, providing a baseline of information for the agency to develop strategies to recruit, develop and retain talent needed for programme performance. The agency s documented workforce plan identifies current and future workforce competencies and the agency is closing identified competency gaps through implementation of gap reduction strategies such as: restructuring, recruitment, competitive sourcing, redeployment, retraining, retention, and technology solutions. A business forecasting process identifies probable workforce changes, enabling agency leadership to anticipate changes to human capital which require action to ensure programme performance. Based on functional analyses, the agency is structured to achieve the right mix and distribution of the workforce to best support the agency s mission. Based on an analysis of customer needs and workforce distribution, the agency has the right balance of supervisory and non-supervisory positions to support the agency mission. (US Office of Personnel, 2009a) Competency management has the potential to improve recruitment, retention, and assessment in order to meet the most pressing governance challenges of the future. Competency management is used for basic gap analysis, workforce analytics, and also modeling and forecasting. The use of competency models must be meaningful to employees and should ideally be updated every 3-5 years to reflect changes both in the workforce and in the conditions of public work. The continued application of existing competency models is particularly relevant given the US Office of Personnel s retirement projections. A 2008 report indicated that by 2016, a full 60% of the full-time non-seasonal federal workforce would be eligible for retirement. (5) EVALUATION OF COMPETENCY MANAGEMENT IN THE US FEDERAL GOVERNMENT Competency management at the federal level will require continual reevaluation. Both methods and applications should be revisited on an ongoing basis. Additional research is a necessary first step for determining future directions and specifically for identifying improved methodological approaches. Given the promise of competency management for strategic alignment and workforce planning, such studies should be a priority. Second, the everchanging context of public sector work requires that existing competency models be revisited to identify incongruence between competency models and changing leadership needs. Finally, an investment in competency management should be regarded as an investment in public leadership development, which is an important priority across organizations. Leadership competency models offer the promise of helping agencies identify, select and educate leaders for the 21 st century. This action is vital to the future of our nation, (Eyde et al., 1999, p. 11). K.U.Leuven, Public Institute,

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9 References Eyde, L.D., Gregory, D.J., Muldrow, T.W., Mergen, P.K. (1999) High-Performance Leaders: A Competency Model, US Office of Personnel. Getha-Taylor, H. (2008) Identifying Collaborative Competencies, Review of Public Personnel Administration, 28 (2), pp Rodriguez, D., Patel, R., Bright, A., Gregory, D. & Gowing, M.K. (2002) Developing Competency Models to Promote Integrated Human Resource Practices, Human Resource, 41 (3), pp Sanchez, J.I. & Levine, E.L. (2009) What is (or should be) the difference between competency modeling and job analysis?, Human Resource Review, 19, pp US Office of Personnel (2006) Guide to SES Qualifications. US Office of Personnel (2008) An Analysis of Federal Employee Retirement Data. US Office of Personnel (2009a) HCAAF Resource Center: A Practitioner s Guide [online] (accessed November 2009). Available online: US Office of Personnel (2009b) The Leadership Journey: Competency-Based Learning [online] (accessed November 2009). Available online: Remarks Report prepared by Heather Getha-Taylor, Ph.D., University of South Carolina, with input from US Office of Personnel experts: Lorraine Eyde, Ph.D., Brian O Leary, Ph.D., Heather Prather, Ph.D., Patrick Sharpe, Ph.D., and Henry Thibodeaux, Ph.D. K.U.Leuven, Public Institute,